Securities Law

Boeing to Pay $200 Million to Settle SEC Charges that it Misled Investors about the 737 MAX

September 22, 2022

The Securities and Exchange Commission today charged The Boeing Company and its former CEO, Dennis A. Muilenburg, with making materially misleading public statements following crashes of Boeing airplanes in 2018 and 2019. The crashes involved Boeing’s… Full report at: Read More

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Michael Weiss

September 22, 2022

SEC Charges Former Ey Employee with Insider Trading Read the full report at Read More

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James Arthur McDonald, Jr. and Hercules Investments, LLC

September 22, 2022

SEC Charges Former Business News Commentator with Misappropriating Client and Investor Funds Read the full report at Read More

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Manhattan Transfer Registrar Company and John C. Ahearn

September 21, 2022

SEC Charges Recidivists for Violations of a Previous Commission Order Read the full report at Read More

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David Sheldon Wells

September 21, 2022

SEC Charges Former Registered Investment Advisor Representative with Securities Fraud Read the full report at Read More

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SEC Charges Cheetah Mobile’s CEO and its Former President with Insider Trading

September 21, 2022

The Securities and Exchange Commission today charged the CEO of Cheetah Mobile Inc. and the company’s former President with insider trading for selling Cheetah Mobile’s securities, pursuant to a purported 10b5-1 trading plan, while in possession of… Full report at: Read More

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John P. Mendes, et al.

September 20, 2022

SEC Charges Securities Professional and Former Corporate Insider with Insider Trading Read the full report at Read More

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Morgan Stanley Smith Barney to Pay $35 Million for Extensive Failures to Safeguard Personal Information of Millions of Customers

September 20, 2022

The Securities and Exchange Commission today announced charges against Morgan Stanley Smith Barney LLC (MSSB) stemming from the firm’s extensive failures, over a five-year period, to protect the personal identifying information, or PII, of approximately… Full report at: Read More

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Aaron B. Fletcher, et al.

September 19, 2022

SEC Obtains Final Judgment Against Municipal Advisor and Its Owner in Municipal Bond Offering Schemes Read the full report at Read More

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Sparkster to Pay $35 Million to Harmed Investor Fund for Unregistered Crypto Asset Offering

September 19, 2022

The Securities and Exchange Commission today issued a cease-and-desist order against Sparkster Ltd. and its CEO, Sajjad Daya, for the unregistered offer and sale of crypto asset securities from April 2018 through July 2018 and charged crypto influencer… Full report at: Read More

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